Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James Taps New Exec in Indiana
By Janet LevauxPatrick ODonovan has led branches and other operations for Smith Barney, Morgan Stanley and other financial firms for the past 32 years.
September 27, 2017
Alabama Securities Director Borg Steps Up as NASAA PresidentAs he starts his one-year term, Joseph Borg notes growing BD interest in the NASAA Model Fee Disclosure Schedule.
September 26, 2017
It’s FAFSA Time: Get Your Clients ReadyParents and students can file these forms, which are required for financial aid and PLUS loans, as soon as Oct. 1.
September 25, 2017
FINRA Hits Morgan Stanley for $13M Over UIT TradesHundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.
September 25, 2017
Envestnet | PMC Unveils Gender-Focused Impact Strategy: Portfolio ProductsIn addition, AlphaCore launched a new fund to make statistical arbitrage readily accessible to the public.
September 22, 2017
Raymond James Adds $170M Morgan Stanley Duo, Shares Financial UpdateThe firm boosted assets, fees and commissions in August and in September had "elevated expenses" tied to Hurricane Irma.
September 21, 2017
5 Big IBD Deals Dwarf RIA Mergers in 2017Five large IBDs are helping to shape the IBD channel into a concentration of a small number of large firms, Fidelity reports.
September 20, 2017
RBC Adds $350M Merrill Team, $125M Morgan Stanley FA: Recruiting RoundupMeanwhile, wirehouse reps depart for Baird, Ameriprise and Arkadios Capital; Royal Alliance and CAPTRUST attract large groups.